OSHA Recordkeeping. Paper Pushing or Value-Add? Jeffrey Chung, PhD CSHM CHFP November 7, CSU Fitting the Pieces Conference

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1 CSU Fitting the Pieces Conference OSHA Recordkeeping Paper Pushing or Value-Add? Jeffrey Chung, PhD CSHM CHFP November 7,

2 What You Should Take Away Overview of Recordkeeping (Regulatory) Requirements Recordability Determination Process Steps Recordkeeping Mechanics and Forms Data Analysis Management Tools 2

3 Background and Overview OSHA views injury and illness records as critical indicators of employers efforts to keep workers safe. Injury and illness data pinpoint potential and actual safety management system deficiencies: 4 Hazard identification 4 Hazard control or abatement 4 PPE 4 Safety communication 4 Safety Procedures 4 Safety training 3

4 Source of CA Recordkeeping Requirements California Code of Regulation, Title 8, Section

5 Organization of CA Recordkeeping Rule Purpose Scope & Forms and Recording Criteria Other Requirements Reporting to the Government Transition from the Formal Rule Definitions

6 Purpose Requires recording of work-related fatalities, certain injuries and illnesses Note: Recording work-related fatalities, injuries and illnesses doesn t mean employer or employee at fault, Cal/OSHA rule violated, or employee eligible for WComp or other benefits. 6

7 Covered Employees Injuries and illnesses must be recorded on the Cal/OSHA Form 300 for all employees: on the payroll including those who are executives, faculty, (salaried or hourly workers) part-time, grad student, work study not on the payroll, but you do supervise on a day-today basis must be included: temporary help services, employee leasing services, personnel supply services, subcontractors 7

8 Employer must: Employer Expectations set up a system for employees to promptly report workrelated injuries and illnesses involve employees and their representatives in this recordkeeping system by: informing each employee about the system for reporting, and telling each employee how to report injuries or illnesses provide access as specified to current or stored Cal/OSHA Forms 300, 300A, and 301 for employees, former employees and their personal and authorized representatives 8

9 Employer Expectations Employers Obligations Provide copies of current/stored Cal/OSHA 300 or 300A Forms when requested by employees (current/former) or employee s personal or union representative: by the end of the next business day. without removing names except when "privacy concern" cases are involved. Provide copy of the current or stored Cal/OSHA 301 (incident report) Forms when requested employee, former employee, or representative if it describes an injury or illness to that employee: by the end of the next business day. 9

10 Employer Expectations Employers Obligations Provide copies of the Cal/OSHA Form 301, Incident Reports when requested by employee s union representative (1 st set of copies free of charge): within 7 calendar days. with certain personally identifying information deleted: employee name; address; date of birth; date of hire; gender; physician name; location where treatment was provided; whether treatment occurred in an emergency room; and whether employee was hospitalized overnight as an inpatient 10

11 Occupational Hearing Loss Recording Criteria for Cases Involving Occupational Hearing Loss: If an employee experienced a recordable hearing loss case, where would the employer record the case on the Cal-OSHA 300 Log? If loss is associated with an event, such as acoustic trauma (e.g., an explosion), record as an injury with a check mark in column (M)(1). Beginning in January 2004, employers must record all hearing loss cases in separate hearing loss column (m)(5). 11

12 Recordkeeping Penalties/Fines Cal-OSHA (based on changes from AB 1127 into California Labor Code and Title 8, CCRs) [signed into law 10/99 and effective January 2000 ]: Whoever knowingly makes any false statement, representation or certification in any application, record, report, plan or other document filed or required to be maintained, shall upon conviction, be: punished by a fine of not more than $10,000, or imprisonment for not more than six (6) months, or both [14309a] 12

13 Recordkeeping Violations Per Labor Code Sections 6410 and 6431 [14309b], these are Cal-OSHA citable: Failure to maintain required records, or incomplete details as required, may result in the issuance of citations and assessment of penalties 13

14 Related Recordkeeping Penalties/Fines Penalties assessed for failure to abate violations: 4 Up to $7,000/day for failure to correct violations 4 Willful or repeated violations of any Cal-OSHA order may be assessed up to $70,000 for each such violation 4 Anyone cited for making a false statement or certification on records or other documents under Cal-OSHA program is subject to fine of up to $70,000 or imprisonment of up to 6 months, or both. 14

15 Prohibition Against Discrimination Section 11(c) of the OSHA Act and Labor Code Sections 6310 & 6311 prohibit discrimination against an employee for: reporting a work-related fatality, injury or illness, or filing a safety and health complaint, or asking for access to the records, or exercising any rights afforded by Section 11(c) or Labor Code Sections 6310 &

16 Next Recording Criteria 16

17 Recording Criteria Covered employers must record each fatality, injury or illness that is: work-related, and a new case, and meets one or more of the general (i.e., ) or specific ( ) recording criteria 17

18 st Determine Work-Relatedness NO Did the employee experience an injury or illness? YES NO Is the injury or illness work-related? YES Is the injury or illness a new case? YES NO Update the previously recorded injury or illness entry if necessary. NO Does the injury or illness meet the general recording criteria or the additional criteria? (2 nd Determine Recordability) YES Do not record the injury or illness Record the injury or illness18

19 (b)(2) - Work-Relatedness Exceptions The injury or illness was caused by: the individual: voluntarily participating in a wellness program, medical, fitness or recreational activity eating, drinking or preparing food or drink for personal consumption performing personal tasks (unrelated to their employment) outside assigned working hours personal grooming or self medication for non-work-related condition an intentionally self-inflicted act 19

20 Work-Relatedness Exceptions (cont d.) (b)(2) The injury or illness was caused by: a motor vehicle accident in parking lot or access road during commute a common cold or flu Symptoms surface at work that are solely due to non-work-related event or exposure The employee was present in the work environment as a member of the general public The employee has a mental illness (unless opinion from an Health Care Provider with appropriate training and experience that mental illness is work related) 20

21 Travel Status and Work-Relatedness (b)(6) An injury or illness that occurs while an employee is on travel status is not work-related if the employee: is on a detour for personal reasons which are not work-related, or establishes a temporary residence (e.g. checks into a hotel/motel) and then performs activities which are not in the interest of the employer 21

22 Work at Home (b)(7) Injuries and illnesses that occur at home are workrelated if they: happen while work for pay/compensation is being performed, and are directly related to the performance of the job Examples : puncturing a fingernail during home garment work dropping a box of work documents resulting in a foot injury 22

23 Forms Complete Cal/OSHA Forms 300 & 301 or equivalent form within 7 calendar days of receiving information of a recordable case. Cal/OSHA Form 300 Log of Work-Related Injuries and Illnesses Cal/OSHA Form 301 Injury and Illness Incident Report 23

24 Current Cal-OSHA Form

25 Cal/OSHA Forms 25

26 Cal/OSHA Forms 26

27 Annual Summary Review Cal/OSHA Form 300, then complete Cal/OSHA Form 300A - Annual Summary of Work-related Injuries and Illnesses. Company executive must certify that he or she has examined the Cal/OSHA Form 300 and the Cal/OSHA Form 300A is correct and complete. Post summary February 1 - April 30 of the year after the calendar year the records cover. 27

28 Cal/OSHA Forms Executive Signature 28

29 Determining Recordability An injury or illness is recordable on Cal/OSHA 300 if it results in one or more of the following: Death Days away from work Restricted work Transfer to another job / Medical surveillance removal Medical treatment beyond first aid Loss of consciousness Significant injury or illness diagnosed by a physician or other licensed health care professional (b)(2) Fatalities: mark the column for death 29

30 Days Away (b)(3) - mark the days away from work column enter number of calendar days in the away from work column exclude the day of injury or illness cap the total days away at 180 calendar days count the number of calendar days the employee was unable to work regardless of whether or not the employee was scheduled to work on those day(s) [e.g., weekends, holidays, vacation days, etc.] 30

31 Days Away Cases (b)(3) - If a case occurs in one year but results in days away during the next calendar year, record the injury or illness once: count the number of calendar days away for the year when the injury or illness occurred for the annual summary, if the employee is still away, estimate the total number of calendar days you expect the employee to be away use this number to calculate the total for the annual summary. update the initial log entry later when the day count is known or reaches the 180-day cap. 31

32 (b)(4) Restricted Work (Under the Remained at work column mark job transfer or restricted workdays) Restricted work: occurs when the employer, a physician or other licensed health care professional keeps the employee from performing: one or more routine job functions (i.e. work activities regularly performed at least once per week), or working a full workday count just like days away from work 32

33 Restricted Work (b)(4) - do not count restriction if limited only to day of the injury or illness count each partial day of work as a day of restriction except the day when the injury or illness began production of fewer goods or services is not considered restricted work activity if employee can perform all the routine functions of the job 33

34 Job Transfer (b)(4) means injured or ill employee is assigned to a job other than regular job for at least a part of any work day under Remained at work, mark job transfer or restricted workdays column count just like days away from work do not count the day the injury or illness occurred count at least one day 34

35 Medical Treatment Beyond First Aid (b)(5) must be recorded: even if employee does not follow medical treatment recommended by a physician or other licensed health care professional. It does not include: not to be recorded if: visits to licensed health care professional solely for observation or counseling. diagnostic procedures (x-rays, blood tests, prescription medications used solely for diagnostic purposes). first aid (as defined in the regulation). 35

36 First Aid Are Non-Recordable Cases (b)(5) - First aid means using: nonprescription medication at nonprescription strength wound coverings, gauze pads, butterfly bandages, Steri-Strips hot or cold therapy non-rigid means of support temporary immobilization devices while transporting an accident victim eye patches finger guards 36

37 First Aid Are Non-Recordable Cases (b)(5) - massages Removing foreign bodies from eye using irrigation or cotton swab splinters or foreign material from areas other than the eye by irrigation, tweezers, cotton swabs or other simple means Administering Tetanus immunizations Cleaning, flushing, or soaking surface wounds Drilling of fingernail or toenail, draining fluid from blister Drinking fluids for heat stress 37

38 (b)(6) - Loss of Consciousness Must be recorded regardless of the length of time the employee remains unconscious classify by marking column (G - J) which represents the most serious outcome of the loss of consciousness 38

39 Significant Diagnosed Injury or Illness (b)(7) Includes (but is not limited to) cancer, chronic irreversible diseases (e.g. asbestosis, silicosis), fractured or cracked bones, punctured eardrums. Record: only once at the time of diagnosis by a physician or other licensed health care professional by marking Other recordable cases column (i.e. column J), if the significant diagnosed injury or illness did not results in: death, or days away from work or a job transfer or restriction 39

40 Recording Criteria Needlesticks/Sharps Injuries Record exposures to blood or Other Potentially Infectious Material (OPIM) as: injuries if needle sticks or cuts from sharps are involved illnesses if a splash or other exposures result in a diagnosis of a blood borne illness (e.g. HIV, hepatitis B, or hepatitis C) medical treatment beyond first aid. (e.g. HIV postexposure prophylaxis treatment, hepatitis B immune globulin, gamma globulin, hepatitis B vaccination). 40

41 Recording Criteria Needlesticks/Sharps Injuries Other Potentially Infected Material (OPIM) includes the following materials: Human bodily fluids, tissues and organs, and Other materials infected with the HIV, hepatitis B virus (HBV) or hepatitis C virus (HCV) such as laboratory cultures or tissues from experimental animals. To protect privacy, do not enter the employee's name on the Cal/OSHA Form

42 Recording Criteria Needlesticks/Sharps Injuries If cuts, lacerations, punctures or scratches are workrelated and do not involve contamination with another persons blood or OPIM, record only if incident involved: Death Days away from work Restricted work Transfer to another job Medical treatment beyond first aid Loss of consciousness Significant injury or illness diagnosed by a physician or other licensed health care professional 42

43 Recording Criteria Needlesticks/Sharps Injuries If a recorded injury is later diagnosed as an infectious bloodborne disease causing death, days away from work, restricted work, or job transfer: update the description to identify the disease change the classification from an injury to an illness 43

44 Occupational Hearing Loss Recordability Definitions Standard Threshold Shift (STS) change in the average level at which various frequencies of sound can be heard relative to a baseline audiogram. Work-related Hearing Loss an event or exposure in the work environment either caused or contributed to the hearing loss or significantly aggravated a preexisting hearing loss. 44

45 Occupational Hearing Loss Employers must record if employee s current audiogram reveals: work-related Standard Threshold Shift (STS) of 25 decibels or more (averaged at 2000, 3000 and 4000 hertz) above audiometric zero in the same ear. no age adjustment. determine if case is work related using T8CCR check Other Illnesses on Cal/OSHA form 300 (or equivalent). 45

46 Occupational Hearing Loss Retesting Must retest within 30 days of test revealing recordable STS. If retest: Confirms recordable STS, record within 7 calendar days of retest Does not confirm recordable STS, do not record case If further testing under T8CCR 5097 reveals recordable STS has not persisted, erase or line-out entry on Log

47 Work-related Tuberculosis (TB) Cases Record when the employee : is occupationally exposed to a known case of active (TB), and subsequently develops a tuberculosis infection, as evidenced by a positive skin test, or diagnosis by a physician or other licensed health care professional Record by marking the respiratory condition column 47

48 Work-Related Tuberculosis (TB) Cases A recorded TB case may be removed from Cal/OSHA Form 300 when it was not caused by occupational exposure, as evidenced by : a positive TB skin test resulting from a pre-employment physical the employee living in a household with a person diagnosed with active TB the Public Health Department identifying the employee as a contact of an individual with active TB, unrelated to the workplace a medical investigation showing the infection was caused by exposure away from work 48

49 Work-Related Musculoskeletal Disorders Employers are required, until December 31, 2003, to record work-related injuries or illnesses involving: muscles, nerves, tendons, ligaments joints, cartilage, spinal discs (Note: use the same general requirements for any injury or illness) For entry "M" on the Cal/OSHA 300, mark either: injury, or all other illnesses 49

50 Privacy Concern Cases Forms Keep a separate confidential list of the case numbers and employee names for privacy concern cases so they can be: updated when appropriate, and provided when required 50

51 Forms Privacy Concern Cases Do not enter the name of an employee on the OSHA Form 300 for Privacy concern cases: Write Privacy case in the name column You must keep a separate, confidential list of the case numbers and employee names for your privacy concern cases so you can update the cases and provide the information to the government if asked to do so. 51

52 List of Privacy Concern Cases Forms The complete list of Privacy Concern Cases : injuries or illnesses to intimate body parts or the reproductive system mental illnesses HIV infection, hepatitis or tuberculosis injuries or illness resulting from sexual assault Need stick injures and cuts from sharp objects contaminated with another person s blood or OPIM Other illnesses where the employee independently and voluntarily request their name not to be entered on the log 52

53 Forms Privacy Concern Cases Use discretion in describing the injury or illness on Cal/OSHA Form s 300 & 301 if: the employee s name was removed from the forms, and a reasonable basis exists to believe that the individual could still be identified Remove or hide employee names when Cal/OSHA Forms 300 or 301 are voluntarily disclosed to persons other than: government representatives employees former employees authorized representatives 53

54 Forms Privacy Concern Cases Voluntarily disclose Cal/OSHA Forms 300 or 301 with personally identifying information only to: auditors or consultants hired by the employer to evaluate the safety and health program the extent necessary for processing workers compensation or other insurance claims public health authorities or law enforcement agencies 54

55 Retention and Updating Retain the following forms for 5 years, after the year the forms cover: Cal/OSHA Form 300, Cal/OSHA Form 300A, Cal/OSHA Form 301, Incident Reports, Privacy Case List Update Cal/OSHA Form 300 during retention period if: newly discovered recordable injuries or illnesses arise any changes occur in the classification of previously recorded injuries and illnesses, or changes occur in the description or outcome of a case You do not need to update the Cal/OSHA Form 300A or Cal/OSHA Form 301during the retention period. 55

56 PERFORMANCE MEASUREMENT Using Indicators/Metrics to Drive: Injury Prevention Cost Containment Continuous Quality Improvement (CQI) World Class Performance 56

57 Incidence Rate Formulas 1) Total Recordable Incidence Rate (TRI) = Number of injuries & illnesses X 200,000 Total hours worked by all employees in period Unit of Measurement: number of injuries and illnesses occurring every 200,000 hours worked. Use actual total hours worked in a year; if not available, estimate total hours worked in a year by multiplying 2,000 for each full time equivalent employee (FTE).

58 Incidence Rate Formulas 2) Lost Workday Case Rate (LWC) = Number of lost workday cases X 200,000 Total hours worked by all employees in period Unit of Measurement: number of lost work day cases occurring every 200,000 hours worked Use actual total hours worked in a year or estimate total hours worked in a year by multiplying 2,000 for each full time employee.

59 Incidence Rate Formulas 3) Severity Rate = Number of lost work days X 200,000 Total hours worked by all employees in period Unit of Measurement: number of lost work days occurring every 200,000 hours worked Use actual total hours worked in a year or estimate total hours worked in a year by multiplying 2,000 for each full time employee.

60 Incidence Rate Formulas 4) Average Lost Work Days per LWD Case = Total lost work days Total cases involving days away from work Unit of Measurement: number of lost work days typically occurring for each LWD case.

61 Control Charts for Data Variability Control Charts evaluate significance of I/I changes. Control chart distinguish random variation from caused variation [at 95% confidence level]. Determine average number injury/illness cases per month (n) over a 60 months experience (# cases/60 mos.). Establish upper control limit (UCL) and lower control limit (LCL): 4 UCL = n + 2 n 4 LCL = n - 2 n Any I/I changes within UCL/LCL bands are random and not statistically significant; changes falling outside bands are statistically significant.

62 Control Chart Illustration 35 Upper Control Limit Injuries Per Month Average Lower Control Limit J F M A M J J A S O N D Months Upper and lower limits of this control chart were based on 60 months experience, and shows points at which the number of injuries and illnesses can statistically be shown to have a contributing cause rather than by chance. Thus actin can be taken where it will be most effective.